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TRENDING TAGS
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- Sarah ten Siethoff is New Associate Director of SEC Investment Management Rulemaking Office
- Catherine Keating Appointed CEO of BNY Mellon Wealth Management
- Credit Suisse to Pay $47Mn to Resolve DOJ Asia Probe
- SEC Chair Clayton Goes 'Hat in Hand' Before Congress on 2019 Budget Request
- SEC's Opening Remarks to the Elder Justice Coordinating Council
- Massachusetts Jury Convicts CA Attorney of Securities Fraud
- Deutsche Bank Says 3 Senior Investment Bankers to Leave Firm
- World’s Biggest Hedge Fund Reportedly ‘Bearish On Financial Assets’
- SEC Fines Constant Contact, Popular Email Marketer, for Overstating Subscriber Numbers
- SocGen Agrees to Pay $1.3 Billion to End Libya, Libor Probes
- Cryptocurrency Exchange Bitfinex Briefly Halts Trading After Cyber Attack
- SEC Names Valerie Szczepanik Senior Advisor for Digital Assets and Innovation
- SEC Modernizes Delivery of Fund Reports, Seeks Public Feedback on Improving Fund Disclosure
- NYSE Says SEC Plan to Limit Exchange Rebates Would Hurt Investors
- Deutsche Bank faces another challenge with Fed stress test
- Former JPMorgan Broker Files racial discrimination suit against company
- $3.3Mn Winning Bid for Lunch with Warren Buffett
- Julie Erhardt is SEC's New Acting Chief Risk Officer
- Chyhe Becker is SEC's New Acting Chief Economist, Acting Director of Economic and Risk Analysis Division
- Getting a Handle on Virtual Currencies - FINRA
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Changing of the Guard at LPL Financial
In December 2016, LPL Financial President Dan Arnold became the firm’s new CEO, succeeding Mark Casady. [Financialish, 12/23/16] This week LPL Financial named Jim Putnam as its new Chairman of the Board of Directors, also succeeding Mark Casady, who can now officially retire.
Mr. Putnam has had an extensive career in financial services. After starting out as an advisor with Dean Witter Reynolds in 1979, he has been with LPL Financial since 1983. During those 34 years, Mr. Putnam has served in several positions, including head of marketing and managing director of national sales. According to his LinkedIn profile, he also has been CEO of Global Portfolio Advisors—a global brokerage clearing services provider.
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FINRA September Job Postings, as of September 19, 2019
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FINRA Recent Job Postings, as of July 15, 2019
July 15, 2019